Thomas J. Sangiorgio
Professional summary
Thomas John Sangiorgio, who also goes by Thomas J Sangiorgio, is a registered financial professional currently at BREAN CAPITAL, LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1991. Thomas has worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas John Sangiorgio's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 23, 2015 - Present
BREAN CAPITAL, LLC
Office #1: 505 Fifth Avenue 5th Floor, New York, NY 10017September 6, 2011 - April 2, 2015
KGS-ALPHA CAPITAL MARKETS, L.P.
August 13, 2008 - September 6, 2011
DEUTSCHE BANK SECURITIES INC.
June 25, 2003 - November 28, 2007
BANC OF AMERICA SECURITIES LLC
December 1, 2000 - July 1, 2003
UBS SECURITIES LLC
May 22, 1995 - December 1, 2000
UBS FINANCIAL SERVICES INC.
June 26, 1991 - January 26, 1995
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/23/2015)
(3/23/2015)
(3/23/2015)
(3/23/2015)
(3/23/2015)
(3/23/2015)
(3/23/2015)
(5/6/2015)
(3/23/2015)
(3/23/2015)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
BREAN CAPITAL, LLC
CRD#: 23723 / SEC#: , 8-40742
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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